, indicating that he had been authorized by his client to make securities trading decisions on the client's behalf. The communication record showed that {A} called to inform his client of the trading orders
, effective from December 4, 2012.Following an investor complaint against {A}, the SEC probed into the case and found that she had been authorized by her client to make trading decisions on the client's behalf
Co. Ltd. that {A} had been authorized by his clients to make securities trading decisions on the clients' behalf where he frequently made trading decisions with relatively significant volume. He
Mr. Sakolkorn Sakavee Bitkub Online Co., Ltd. (Bitkub) by Mr. Sakolkorn Sakavee, Chief Executive Officer and authorized director, entered into a market maker agreement with Mr. Anurak Chueachai. They
Mr. Poramin Insom Satang Corporation Co., Ltd. (Satang) by Mr. Poramin Insom, Chief Executive Officer and authorized director, entered into a market maker agreement with LLC Fair Expo by Mr. Mikalai
Mr. Sakolkorn Sakavee Bitkub Online Co., Ltd. (“Bitkub”) by Mr. Sakolkorn Sakavee, Chief Executive Officer and authorized director, entered into a market maker agreement with Mr. Anurak Chueachai
power to make decisions on the company’s operation on behalf of the board of directors; “Register of Persons Qualified to be Fund Manager” means the register of persons who are approved by the Office of
directors as an executive director or authorised with power to make decisions on the company’s operation on behalf of the board of directors; “Register of Persons Qualified to be Fund Manager” means the
’ qualified opinions resulted from limitation on their scope of audit/review. Hence, the auditors were unable to obtain sufficient and appropriate audit evidence with respect to valuation of investment in PT